IN THE SUPREME COURT OF IOWA 

No. 10 / 06-1760 

Filed February 23, 2007 

IOWA SUPREME COURT ATTORNEY 

DISCIPLINARY BOARD, 

Complainant, 

vs. 

STEVEN B. JOY, 

Respondent. 

On review of the report of the Grievance Commission. 

Grievance Commission reports respondent has committed 

numerous acts of neglect and other misconduct and recommends 

suspension of respondent’s license to practice law. LICENSE 

SUSPENDED. 

Charles Harrington and Teresa A. Vens, Des Moines, for 

complainant. 

Steven B. Joy, Grand Junction, pro se. 
2 

APPEL, Justice. 

In this matter, the Grievance Commission recommends suspension 

of Steven B. Joy’s license to practice law in Iowa for a period of two years 

without possibility of reinstatement as a result of neglect on multiple 

matters and other professional misconduct under the Iowa Code of 

Professional Responsibility, which governed conduct of Iowa attorneys 

prior to July 1, 2005. The Commission further recommends that prior to 

any application for reinstatement, Joy undertake ethics training, obtain 

an evaluation from a licensed health care professional, and pay certain 

monetary amounts owed to former clients. While Joy did not participate 

in the hearing and has not appealed, we review attorney disciplinary 

matters de novo. After review of the entire record, we suspend Joy’s 

license indefinitely, with no possibility of reinstatement for eighteen 

months, and adopt as our own most of the conditions on reinstatement 

recommended by the Commission. 

I. Prior Proceedings. 

Steven B. Joy is an Iowa attorney. He was admitted to the practice 

of law in Iowa in 1990. At the time of these disciplinary proceedings, Joy 

was a sole practitioner in Mechanicsville, Iowa. 

On June 26, 2006, the Iowa Supreme Court Attorney Disciplinary 

Board filed a complaint against Joy alleging five counts of ethical 

violations. Counts I through III alleged neglect and other professional 

misconduct in connection with three estates. Count IV alleged that Joy 

had failed to properly handle tax returns for a husband and wife. Count 

V alleged that Joy had failed to cooperate with the Board in connection 

with its investigation of complaints made against him. 

Joy filed an answer before the Board generally denying the 

charges, but did not appear at the scheduled hearing on October 5, 
3 

2006. At the hearing, the Commission heard testimony from five 

witnesses. The Commission also received into evidence thirteen exhibits, 

which provided extensive documentation regarding the matters which 

Joy allegedly neglected as well as Joy’s nonresponsiveness to inquiries of 

the Board. 

 On November 3, 2006, the Commission issued its Findings of Fact, 

Conclusions of Law, and Recommendation in this matter. The 

Commission found that Joy had neglected the three estates in question, 

disregarded various court orders, engaged in misrepresentations to the 

courts and clients, did not return unearned attorneys’ fees in one case, 

and failed to cooperate with the Board on a number of occasions. 

II. Standard of Review. 

Review of attorney disciplinary proceedings is de novo. Iowa Ct. R. 

35.10(1). In deciding the matter, the court considers the findings of fact 

and disciplinary recommendation of the Commission. Iowa Supreme Ct. 

Bd. of Prof’l Ethics & Conduct v. Honken, 688 N.W.2d 812, 815 (Iowa 

2004). The Board must prove ethical violations by a “convincing 

preponderance of the evidence.” Iowa Supreme Ct. Bd. of Prof’l Ethics & 

Conduct v. Williams, 675 N.W.2d 530, 531 (Iowa 2004). Upon review, 

this court may impose a greater or lesser sanction than the Commission 

recommended. Iowa Ct. R. 35.10(1). 

III. Facts. 

As required by Iowa Court Rule 35.10(1), we have conducted a de 

novo review of the entire record in this matter. 

A. Estate of Colleen M. Shulista. 

Count I of the petition related to Joy’s handling of the estate of 

Colleen M. Shulista. The record shows that this matter involved a simple 

estate with only one small parcel of farmland. The evidence further 
4 

established that Joy did not complete the required work in a timely 

manner, which resulted in the district court clerk issuing two 

delinquency notices. After unsuccessfully attempting to establish 

communications with Joy through repeated phone calls and a certified 

letter, the executor hired another attorney to complete the work on the 

estate. The estate was open for over four years prior to closure. See

generally Iowa Code § 633.473 (2003) (requiring closure of estate within 

three years unless otherwise ordered by the court). 

Joy compounded his neglect by being less than candid with the 

court. For example, Joy responded to one of the delinquency notices by 

stating that the remaining work to be done was to obtain an income tax 

acquittance, prepare the final report, and prepare and file an affidavit for 

change of title. Joy failed to disclose that state and federal tax returns 

had not been prepared or filed. 

B. Estate of Viola Irene Krumm Williams. 

Count II of the petition concerns the estate of Viola Irene Krumm 

Williams. The evidence established that Joy failed to complete the work 

on this estate in a timely manner. Because of his tardiness, the district 

court clerk issued seven notices of delinquency, and this estate remained 

open for a five-and-a-half-year period prior to closure. 

In addition, the evidence established that Joy did not comply with 

orders of the court in this matter. After the clerk issued its fifth 

delinquency notice, Joy sought direction from the court, claiming he “had 

had no contact with Fiduciaries in this estate for an extensive period of 

time.” The district court set the matter for hearing, directed Joy to mail 

notice to the fiduciaries and beneficiaries of the estate, and ordered Joy 

to file an affidavit with the court stating that mailing of the notice had 

been accomplished. On the date set for the hearing, neither Joy nor the 
5 

fiduciaries appeared. Joy also failed to file the required affidavit 

regarding notice to the fiduciaries and beneficiaries, as directed by the 

district court. 

Eventually, as in the Shulista matter, the executors of the estate 

took matters into their own hands and filed a pro se application for a 

hearing. The district court complied with their request, and on the 

scheduled date, the executors, but not Joy, appeared. The district court 

entered an order requiring Joy to prepare a final report no later than 

July 15, 2003, or “appropriate sanctions shall be imposed.” On July 15, 

Joy called the district court, stating that the final report would be mailed 

that same day. It was not. When the district court subsequently 

scheduled a hearing to show cause why sanctions should not be 

imposed, in light of Joy’s noncompliance, Joy did not appear. The 

district court rescheduled the hearing, and to ensure notice, directed the 

sheriff to personally serve Joy. Joy again did not appear. An attorney 

who happened to be in the courthouse on other matters, however, 

advised the court that Joy was hospitalized. As a result, the district 

court rescheduled the hearing yet again. 

The record does not clearly indicate what happened after the 

rescheduled hearing, but progress on the estate still was not made. The 

executors eventually wrote the district court a letter, stating that Steven 

Joy failed to appear at three hearings, and asking “where do we go from 

here?” In response to the letter, the district court scheduled another 

hearing, with the executors and their attorney directed to show cause 

why they should not be removed due to their failure to close the estate. 

Notice was sent to Joy by ordinary mail. 

The executors appeared at the hearing in person, but Joy did not. 

In a post-hearing order, the district court removed Joy as attorney for the 
6 

estate. The court further ruled that Joy was not entitled to the second 

half of attorneys fees paid by the estate because the final report had not 

been filed and court costs not paid as required by rule 7.2 of the Iowa 

Rules of Probate Procedure. As a sanction for his failure to comply with 

prior court orders and for his failure to assist the fiduciaries in 

administering this estate, the district court ordered Joy to return 

$1,519.07 to the clerk for payment to the executors of the estate within 

ten days. 

The record shows that Joy did not repay the amount in ten days. 

As a result, the district court entered a further order entering a 

$1,519.07 judgment against Joy in favor of the beneficiaries. The estate 

was finally closed after being open for a five-and-a-half-year period. 

C. Estate of Scott David Boots. 

Count III of the petition concerned the estate of Scott David Boots. 

The record shows that a total of five delinquency notices were issued in 

this estate. Again, the record demonstrates that Joy did not attend 

scheduled court hearings and, on at least one occasion, failed to file an 

affidavit showing that notice of a hearing had been sent to fiduciaries as 

required by court order. As in the Shulista matter, the executors 

ultimately took matters into their own hands. They eventually 

discharged Joy and hired attorney Janette Voss to complete work on the 

estate. 

At a hearing attended by Joy and Voss, Joy represented to the 

district court that the final report, the Iowa inheritance tax return, and 

all fiduciary income tax returns (state and federal) had been prepared. 

He further represented that he would deliver them to Voss within the 

next several days. In light of these representations, the district court 

ordered that the Iowa inheritance tax return and all fiduciary income tax 
7 

returns be filed in short order. Joy was further directed to file a 

compliance report with the clerk indicating that these actions had been 

taken. Joy did not deliver the documents, however, and did not file a 

compliance report as required by court order. 

When the matter was set for another hearing, Joy was ordered to 

appear but again did not. Joy was ordered to turn over his entire file to 

successor counsel, and again failed to do so. Eventually the estate was 

closed, without Joy’s further assistance, after being open for almost ten 

years. 

D. Tax Returns of Svobodas. 

Count IV of the complaint concerned the tax representation of 

Charles and Colleen Svoboda. Joy had been a family friend of the 

Svobodas for years and had completed the couple’s tax returns for over a 

decade. On March 13, 2002, Joy agreed to prepare the Svobodas’ state 

and federal income tax returns for calendar year 2001. At that time, the 

Svobodas left with Joy relevant documentation, including depreciation 

schedules related to their farming business. 

On April 15, Joy told the Svobodas that he was working on their 

returns, but had not yet completed them. He advised that he would file 

an extension that day. On April 30, Joy informed the Svobodas that he 

had filed an extension. On May 7, he told the couple that the returns 

would be completed the following week. 

When there was no further communication from Joy, the Svobodas 

attempted to contact him at his office phone, which was disconnected, 

and by cell phone. On July 3, 2002, Charles Svoboda went to Joy’s 

office, and saw Joy’s auto parked behind it. When there was no answer 

at the office door, Charles left a note on the windshield of the car, asking 

Joy to contact them as soon as possible. Two hours later, the note had 
8 

been removed from the windshield, but Joy did not communicate with 

the Svobodas. In frustration, the Svobodas paid a patron to inform them 

when Joy was leaving a local bar. Eventually, the Svobodas tracked Joy 

down, and the attorney promised to return the records. Joy, however, 

failed to produce the records. Fortunately, the Svobodas were able to 

have the returns completed by another attorney. Because Joy did not file 

the extension, the Svobodas were initially penalized $1,354.23, which 

was later reduced to $94.10. 

E. Failure to Cooperate. 

Count V of the complaint related to Joy’s failure to cooperate with 

the Board. The evidence establishes that Joy received communications 

from the Board regarding a number of disciplinary matters and did not 

respond in a timely manner. When some of the Board’s inquiries were 

sent, Joy was a resident at Teen Challenge of the Midlands, a religiously 

based, intensive residential counseling program in Colfax, Iowa. Because 

of his participation in the program and his lack of access to records and 

files, Joy sought an extension of time in which to respond. The Board 

granted him the requested extension. Joy, ultimately, left the Teen 

Challenge program, but did not provide the Board with substantive 

responses to its inquires. After the Board filed its complaint in this 

matter, Joy filed a conclusory answer denying most of the allegations, 

but did not participate in the hearing. 

F. Previous Discipline. 

There is no record of prior discipline related to neglect of client 

matters or other professional misconduct. On January 5, 2004, 

however, Joy’s license to practice law was suspended for failure to 

comply with the client security and continuing legal education 

requirements of this court. 
9 

IV. Ethical Violations. 

A. Neglect. 

In Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Moorman, 

683 N.W.2d 549 (Iowa 2004), we observed that neglect has “generally 

been recognized to involve indifference and a consistent failure to 

perform those obligations that a lawyer has assumed, or a conscious 

disregard for the responsibilities a lawyer owes to a client.” 683 N.W.2d 

at 551 (citations omitted). Neglect cannot be found if the acts or 

omissions complained of were inadvertent or the result of an error of 

judgment made in good faith. Comm. of Prof’l Ethics & Conduct v. Rogers, 

313 N.W.2d 535, 536 (Iowa 1981). In the context of estate work, this 

court held that neglect occurs where a lawyer “repeatedly failed to 

perform required functions as attorney for the executor, repeatedly failed 

to meet deadlines, and failed to close the estate[s] within a reasonable 

period of time.” Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. 

Grotewold, 642 N.W.2d 288, 293 (Iowa 2002). An attorney who neglects 

legal matters violates DR 6-101(A)(3) (providing a lawyer shall not neglect 

a client’s legal matter) and DR 7-101(A)(2) (providing a lawyer shall not 

intentionally fail to carry out a contract of employment for professional 

legal services). 

The Board clearly proved by a convincing preponderance of the 

evidence that Joy neglected the Shulista, Williams, Boots, and Svoboda 

matters. The persistent pattern of delinquencies, missed deadlines, and 

evasive and misleading statements by Joy in each of these demonstrates 

neglect rather than mere inadvertence or mistake. As a result, we find 

that Joy has violated DR 6-101(A)(3) and DR 7-101(A)(3) in each of these 

four matters. See Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. 
10 

Ruth, 656 N.W.2d 93 (Iowa 2002) (holding lawyer violated ethics rules by 

failing to close estate within three years). 

In addition, a lawyer who fails to meet applicable deadlines 

engages in conduct that is prejudicial to the administration of justice and 

violates DR 1-102(A)(5) (prohibiting conduct prejudicial to the 

administration of justice). Iowa Supreme Ct. Att’y Disciplinary Bd. v. 

Lesyshen, 712 N.W.2d 101, 105 (Iowa 2006); Comm. on Prof’l Ethics & 

Conduct v. Thomas, 495 N.W.2d 684, 686 (Iowa 1993). Joy has 

repeatedly violated this canon of professional ethics as well. 

B. Failure to Comply with Court Orders. 

Under our disciplinary rules, a lawyer cannot disregard a ruling of 

a tribunal made in the course of a proceeding. Honken, 688 N.W.2d at 

820; Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Daggett, 653 

N.W.2d 377, 381 (Iowa 2002). An attorney who disregards a court order 

violates DR 7-106(A) (a lawyer shall not disregard a ruling of a tribunal). 

In this case, there is at least a question regarding whether Joy had 

actual knowledge of various court orders entered in the proceedings. The 

record indicates that during calendar year 2003, Joy experienced 

considerable instability in his life. The evidence shows that at some time 

in June 2003, for example, his office phone was disconnected. Later in 

2003 it appears that he no longer resided in Mechanicsville and may 

have lived temporarily with his mother in Jefferson, Iowa. The record 

also establishes that for a period of time prior to January 6, 2004, Joy 

resided in Colfax, Iowa, while participating in Teen Challenge of the 

Midlands. Nearly all of the orders involved in these matters were sent to 

post office boxes in Mechanicsville, Iowa. 

The evidence shows, however, that on February 7, 2003, Joy filed 

virtually identical applications for orders in the Williams and Boots 
11 

matters seeking to explain the delinquencies and buy more time to close 

the estates. Contemporaneously with the filing of these applications, Joy 

filed with the district court clerk two orders which, among other things, 

set a hearing date on both matters for April 11, 2003, directed Joy to 

serve notice on fiduciaries and residuary beneficiaries, and ordered Joy 

to file an affidavit stating that the prescribed notice had occurred. Joy 

must have had knowledge of these orders, which he himself filed. The 

evidence shows that Joy violated DR 7-106(A) by failing to comply with 

the orders in both cases, with the predictable result that hearings had to 

be rescheduled, thereby causing further delay in the already delinquent 

estates. 

In the Williams matter, the district court on June 13, 2003, 

entered an order requiring Joy to prepare a final report no later than 

July 15, 2003. This is about the time that Joy’s office phone was 

disconnected. Although Joy did not attend the June 13, 2003 hearing, 

Joy himself called the district court judge on July 15, 2003, thereby 

demonstrating knowledge of the order and its requirements. He advised 

the district court judge that the final report would be mailed that same 

date. Joy violated DR 7-106(A) by not filing the final report in the 

Williams matter on July 15 or any time thereafter. 

 In the Boots matter, the district court, after a hearing on May 30, 

2003, attended by Joy and the fiduciaries’ personal attorney, ordered Joy 

to provide to the fiduciaries’ personal counsel a final report, Iowa 

inheritance tax return, and all fiduciary tax returns for execution and 

filing. Joy was further ordered to file with the court a compliance report 

by June 27, 2003, confirming that these actions had been taken. The 

district court clerk mailed the order to Joy on June 2, 2003. Because it 

is clear that Joy received the June 13, 2003 order, mailed to him by the 
12 

district court in the Williams matter, we can only conclude that a similar 

court order mailed to Joy two weeks earlier was also received. Joy 

violated DR 7-106(A) when he failed to file the compliance report by 

June 27, 2003, and by failing to take the actions required in the order. 

Lastly, in the Williams matter, on January 21, 2004, the district 

court ordered Joy to return within ten days of the receipt of the order 

one-half of the fees held by Joy in trust, or $1,519.17, because the fees 

had not been earned under Probate Rule 7.2 and as a sanction for Joy’s 

lack of attention to the file. This order was sent to P.O. Box 177 in 

Mechanicsville, Iowa. The record shows that on January 6, 2004, Joy 

sent a handwritten letter to the Board of Professional Ethics and 

Conduct stating that he no longer resided in Colfax, Iowa, and that 

future correspondence should be sent to P.O. Box 177 in Mechanicsville. 

On February 2, 2004, Joy signed a receipt for a certified letter sent by 

the Board to that address. As a result, we conclude that Joy received the 

order in the Williams case directing him to refund the fee. 

Although there is no evidence in the record to show that he 

converted the funds to his own use, Joy did not comply with the 

January 21, 2004, order to release the funds from his trust account. 

Ultimately, the district court entered judgment against Joy in favor of the 

beneficiaries for this amount on February 13, 2004. Refusing to refund 

the fee in violation of the court order violates DR 7-106(A) as well as DR 

9-102(B)(4) (lawyer shall promptly pay or deliver to client the property in 

possession of lawyer which client is entitled to receive). 

C. Misrepresentations. 

An attorney is prohibited from engaging in conduct involving 

dishonesty, fraud, misrepresentation, and deceit. In connection with this 

bedrock principle, we have stated that a “casual, reckless disregard for 
13 

the truth” warrants discipline. Daggett, 653 N.W.2d at 380. Statements 

by an attorney which evince lack of respect for the truth violate DR 1-

102(A)(4) (a lawyer shall not engage in conduct involving dishonesty, 

fraud, deceit, or misrepresentation). Our ethics rules also prohibit other 

conduct which reflects adversely on a lawyer’s fitness to practice law. 

DR 1-102(A)(6). 

The record in this case demonstrates that Joy engaged in a pattern 

of misrepresentations designed to conceal his neglect of the files, which, 

at a minimum, amounts to a reckless disregard for the truth. For 

example, in the Shulista and Williams matters, Joy represented, in 

response to delinquency notices, that minimal work needed to be 

completed on the estates when work, such as the preparation and filing 

of various tax returns, remained to be done. While an attorney is not 

subject to discipline because of an honest mistake, the record here 

shows that Joy engaged in an effort to minimize his lack of attention and 

neglect of client matters. Honken, 688 N.W.2d at 817; Iowa Supreme Ct. 

Bd. of Prof’l Ethics & Conduct v. Smith, 569 N.W.2d 499, 501 (Iowa 1997). 

Joy also made false statements to his clients in the Svoboda 

matter. Joy advised his clients that he had timely filed a request for an 

extension to file their tax returns when he had not done so. 

Misinforming a client about the status of tax returns is an ethical 

violation. Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Reedy, 586 

N.W.2d 701, 702 (Iowa 1998). 

While these statements might be viewed in isolation as mere 

mistakes, the totality of facts and circumstances here convinces us that 

the statements were made to mask Joy’s neglect. At a minimum, they 

demonstrate a reckless disregard for the truth and, as a result, Joy 

violated DR 1-102(A)(4). 
14 

In addition, Joy made statements to the district court on two 

occasions indicating that he would take prompt action in the future. In 

the Williams matter, Joy advised a district court judge that he would 

personally mail a final report to the district court that same day. He did 

not, however, do so on that day or any other day thereafter. In the Boots 

matter, Joy advised the district court that he would provide counsel for 

the fiduciaries with copies of various estate documents for their 

signatures in a few days. He did not do so. While it is questionable 

whether statements of future intent are misrepresentations of fact, Joy’s 

demonstrated unreliability violates DR 1-102(A)(5) (prohibiting conduct 

prejudicial to the administration of justice) and DR 1-102(A)(6) 

(prohibiting conduct that reflects adversely on fitness to practice law). 

D. Failure to Turn Over Client Papers. 

 A lawyer has a responsibility to turn over client papers and 

property to which the client is entitled prior to withdrawal from 

employment. DR 2-110(A)(2). On two occasions, clients who had 

obtained the services of other lawyers requested that Joy turn over client 

papers. In the Svoboda matter, Joy promised that he would provide the 

tax files, but did not do so. In the Boots matter, Joy was ordered to turn 

the file over to counsel for Boots, but again failed to do so. As a lawyer, 

Joy has a responsibility to provide clients and successor counsel with 

client papers under the circumstances presented here. Iowa Supreme Ct. 

Bd. of Prof’l Ethics & Conduct v. Freeman, 603 N.W.2d 600, 602 (Iowa 

1999). His failure to do so violates DR 2-110(A)(2) and also reflects 

adversely on his fitness to practice law in violation of DR 1-102(A)(6). 

E. Lack of Response to Board Inquiries. 

At the time of the above matters, failing to timely respond to the 

Board’s inquiries gave rise to an independent ethical violation. 
15 

Grotewold, 642 N.W.2d at 293. An attorney who fails to timely respond 

to the Board’s inquiries violates DR 1-102(A)(5) and (6). 

The record in this case shows that Joy failed to respond to each of 

the four claims investigated in this matter. The filing of a conclusory 

answer, moreover, was not sufficient. The work of the Board, the 

Commission, and this court has been made more difficult by the lack of 

response. Under the circumstances, the record establishes that Joy 

repeatedly violated DR 1-102(A)(5) and (6). 

V. Sanctions. 

In determining the appropriate sanction, this court considers “the 

nature of the alleged violations, the need for deterrence, protection of the 

public, maintenance of the reputation of the [bar] as a whole, and the 

respondent’s fitness to continue in the practice of law.” Freeman, 603 

N.W.2d at 603. The court considers both aggravating and mitigating 

circumstances in setting the sanction. Iowa Supreme Ct. Bd. of Prof’l 

Ethics & Conduct v. Sherman, 637 N.W.2d 183, 187 (Iowa 2001). 

In cases involving neglect, this court has generally imposed 

discipline ranging from a public reprimand to a six-month suspension, 

depending upon relevant facts and circumstances. Freeman, 603 N.W.2d 

at 603. An important factor is the prejudice caused by the neglect. 

Under the record here, no substantive rights were lost as a result of 

neglect itself. 

Where neglect is compounded by other serious offenses, however, 

this court has suspended the license of the offending attorney for 

substantial periods of time. Iowa Supreme Ct. Att’y Disciplinary Bd. v. 

McCann, 712 N.W.2d 89 (Iowa 2006) (two-year suspension for multiple 

acts of neglect, misrepresentations to court, numerous accounting 

failures, misuse of client funds, and failure to respond to ethics 
16 

investigation); Iowa Supreme Ct. Att’y Disciplinary Bd. v. Sotak, 706 

N.W.2d 385 (Iowa 2005) (two-year suspension for violations including 

neglect, misrepresentations to clients, settlement and dismissal of cases 

without client consent, and failure to promptly release client funds); Iowa 

Supreme Ct. Att’y Disciplinary Bd. v. Moonen, 706 N.W.2d 391 (Iowa 

2005) (eighteen-month suspension for violations including neglect of 

probate matters, self-dealing and taking fees without proper accounting, 

improper tactics in proceedings, lack of proper accounting procedures, 

and failure to respond to ethics investigation); Honken, 688 N.W.2d at 

812 (two-year suspension for violations including multiple acts of 

neglect, misrepresentations to the court, misrepresentations to client, 

conflicts of interest, and failure to respond to ethics complaint); Iowa 

Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Rauch, 650 N.W.2d 574 

(Iowa 2002) (one-year suspension for violations including neglect, 

misrepresentation, and improper ex parte communications); Iowa 

Supreme Ct. Bd. of Prof’l Ethics & Conduct v. D’Angelo, 619 N.W.2d 333 

(Iowa 2000) (three-year suspension for violations including neglect, 

accepting fees without court authorization, misrepresentations, 

disregarding a court order, habitually disregarding statutes and court 

rules); Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. Jay, 606 

N.W.2d 1 (Iowa 2000) (one-year suspension for violations including 

neglect, misrepresentation of status of proceedings, and failure to refund 

attorneys fees, aggravated by history of two prior disciplinary problems). 

Here, Joy’s neglect is substantially compounded by his refusal to comply 

with court orders, his misrepresentations to the court and clients, and 

his lack of cooperation with the Board. 

It is possible that there are mitigating circumstances that, while 

not excusing the disciplinary violations, might have a bearing on severity 
17 

of sanction. Iowa Supreme Ct. Bd. of Prof’l Ethics & Conduct v. 

Hohenadel, 634 N.W.2d 652 (Iowa 2001) (alcoholism); Grotewold, 642 

N.W.2d at 292-96 (major depression). Joy, however, chose not to 

participate in the hearing and, as a result, the record is not well 

developed regarding mitigating factors. While there is insufficient 

evidence to significantly reduce the length of suspension, protection of 

the public requires that this court receive assurance that any potential 

health problem be addressed by Joy prior to any application for 

readmission. 

In light of all the facts and circumstances, we suspend Joy’s 

license indefinitely, with no possibility of reinstatement for eighteen 

months. This suspension is to run concurrently with his present 

suspension for failure to comply with the client security and continuing 

legal education requirements. Upon application for reinstatement, Joy 

must show that he has not practiced law during the suspension period 

and that he has complied with all the requirements in Iowa Court Rule 

35.21. In any application for reinstatement, Joy must present an 

evaluation by a licensed health care professional verifying his fitness to 

practice law. Before obtaining the evaluation, Joy must submit the name 

of the proposed evaluator and the nature of the proposed evaluation to 

the Board for approval. Further, Joy must demonstrate in any 

application for reinstatement that he has satisfied the judgment entered 

in the Williams estate and that he has reimbursed the Svobodas the 

penalty amount of $94.10. Finally, the costs of this action are taxed 

against Joy pursuant to Iowa Court Rule 35.25(1). 

LICENSE SUSPENDED.